FINRA has filed with the SEC the attached proposed rule change to amendFINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) with respect to halts by foreign regulatory authorities. The rule change would provide that FINRA may: (1) initiate a trading and quotation halt in an OTC Equity Security upon notice of a foreign regulatory halt for news pending, including notice from a reliable third-party source;(2) continue to halt trading and quoting in such OTC Equity Security until notice from the appropriate foreign regulatory authority is received that it has or intends to resume

The CFTC Division of Swap Dealer and Intermediary Oversight (DSIO) has issued the attached no-action letter providing swap dealers with relief from the requirement to disclose the pre-trade mid-market mark to counterparties in certain FX transactions that are identified in the no-action letter (“Covered Forex Transactions”). The disclosure requirements prescribed in Rule 23.431 ("Disclosures of material information") state that a swap dealer or major swap participant must disclose to certain counterparties the pre-trade mid-market mark of a swap. This no-action letter states that a swap dealer

FINRA recently concluded elections to fill vacant seats on the Small Firm Advisory Board (SFAB), National Adjudicatory Council (NAC) and district committees. This Notice lists the individuals elected to fill vacant seats on the SFAB, and those elected and appointed to the NAC and District Committees for terms beginning January 1, 2013. View Notice in full here (links externally to FINRA website).

The NFA has announced that its "News, Facts, Actions" quarterly newsletter will now be sent on a more frequent basis as noteworthy updates and news break. Click here to view the latest version of the newsletter (links externally to NFA website).

The SEC's Office of Investor Education and Advocacy and FINRA have issued a new Investor Alert called Year-End Investment Considerations for Individual Investors, which provides individual investors with a few suggestions for year-end investment planning as the year draws to a close. The bulletin outlines five key areas investors should focus on when making investment decisions: Asset Allocation. The end of the year is a reasonable time to review your overall investment portfolio and evaluate your existing asset allocation. Consider Rebalancing. Some of your investments will grow faster than